Michael V. Kiesel
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Michael Vincent Kiesel was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 1991. Michael had worked at 12 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 3, 2014 - July 9, 2015
SII INVESTMENTS, INC.
December 2, 2014 - July 9, 2015
SII INVESTMENTS, INC.
July 1, 2009 - December 19, 2014
GILFORD FINANCIAL CORP.
May 1, 2009 - December 19, 2014
GILFORD SECURITIES INCORPORATED
March 28, 2008 - May 7, 2009
TD WEALTH MANAGEMENT SERVICES INC.
March 28, 2008 - May 7, 2009
TD WEALTH MANAGEMENT SERVICES INC.
March 6, 2007 - March 28, 2008
HSBC SECURITIES (USA) INC.
March 5, 2007 - March 28, 2008
HSBC SECURITIES (USA) INC.
February 8, 2005 - February 26, 2007
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
February 7, 2005 - February 26, 2007
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
November 25, 1997 - February 9, 2005
CHASE INVESTMENT SERVICES CORP.
September 18, 1996 - February 9, 2005
CHASE INVESTMENT SERVICES CORP.
March 26, 1996 - September 18, 1996
CHEMICAL INVESTMENT SERVICES CORP.
August 18, 1992 - March 26, 1996
FLEET ENTERPRISES, INC.
March 3, 1992 - July 17, 1992
NYLIFE SECURITIES LLC
September 13, 1991 - January 24, 1992
METROPOLITAN LIFE INSURANCE COMPANY
September 13, 1991 - January 24, 1992
MSI FINANCIAL SERVICES, INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
SII INVESTMENTS, INC.
CRD#: 2225 / SEC#: 801-54935, 8-13963
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| NATIONAL PLANNING HOLDINGS, INC | SHAREHOLDER | |
| COLEMAN, CAREN LESLIE | VP, NPH PRODUCT AND SPONSOR RELATIONS | 4298287 |
| COLLINS, MAURA KATHRYN | SVP/CFO NATIONAL PLANNING HOLDINGS | 4761732 |
| DOWDEN, STEVEN HOWARD | PRESIDENT AND CEO OF NPH | 2666894 |
| GUNDERSON, GERRY A | NPH GENERAL COUNSEL & SVP OF REGULATORY AFFAIRS | 2448501 |
| HARRIS, BRADLEY OLAN | DIRECTOR | 6589930 |
| KALINOWSKI, DAWN MARIE | SVP, COO | 2770565 |
| KINART, TODD MICHAEL | SII PRESIDENT & CEO/DIRECTOR | 2723511 |
| LAMBRECHTS, VANESSA MARIE RODRIGUEZ | VP, FINOP & CONTROLLER | 4800775 |
| MCCALLOP, PATRICIA ANN | NPH AND SII SVP & CHIEF COMPLIANCE OFFICER | 5059176 |
| MILLER, JAMES PETER | NPH SVP OPERATIONS | 1955960 |
Disclosures
| Regulatory Event | 13 |
| Arbitration | 9 |
Red Flags
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